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3 Aug 2010, 3:42 pm
The SEC has posted on its website the FINRA proposal to revise the Discovery Guide to expand the guidance FINRA gives to parties and arbitrators on the discovery process and to update the Document Production Lists. [read post]
26 Jan 2021, 8:02 am
FINRA has barred Mr. [read post]
19 Jul 2011, 8:57 am
FINRA found that she violated NASD Rules 2210 and IM-2210-1, and FINRA Rule 2010. [read post]
16 Jan 2024, 12:39 pm
Before the rule change, FINRA banned non-attorney representation in its arbitration and … Continue reading Compensated Non-Attorney Representation Banned in FINRA Arbitrations and Mediations → [read post]
8 Nov 2018, 7:20 am
FINRA Case #2014041590801) John William Cutshall (CRD #874352, Woodsboro, Maryland) – Cutshall was named a respondent in a FINRA complaint alleging that he abused his position as trustee for trusts that he administered on behalf of a married deceased couple and an elderly widow, by converting and improperly using funds from these trusts. [read post]
16 Aug 2017, 9:50 am
(FINRA Case #2015044921601) Johnny Earl Burris (CRD #2850953, Surprise, Arizona) submitted an Offer of Settlement in which he was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for five business days. [read post]
15 Nov 2018, 6:16 am
FINRA Case #2014042022401) Brian Lawrence Stephan (CRD #4222796, Jamestown, Ohio) – Stephan was named a respondent in a FINRA complaint alleging that he recommended and caused the execution of unsuitable investments for an 88-yearold customer. [read post]
18 Apr 2018, 7:53 am
NASAA has offered support for a FINRA proposal that would use FINRA’s Membership Application Program to incentivize the timely payment of arbitration awards. [read post]
5 Feb 2021, 5:19 pm
We are continuing our discussion of FINRA’s 2021 Report on Risk Monitoring and Examination Activities. [read post]
31 Oct 2011, 7:11 pm
Ketchem from FINRA stressed that his agency had voluntarily reported the incident and had appointed a new leadership team for the Kansas City office and noted that the SEC had praised FINRA’s prompt reporting. [read post]
18 Aug 2014, 4:50 am
At the halfway point of the year, the Sutherland Asbill firm has issued its report on FINRA’s fines to date. [read post]
24 Apr 2012, 9:39 am
The Florida securities lawyers at McCabe Rabin, P.A. represent investors nationwide in FINRA arbitration matters. [read post]
1 Nov 2023, 8:28 am
Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases. [read post]
29 Dec 2023, 11:48 am
FINRA Claims to Recover Investment Losses FINRA Dispute Resolution is an arbitration venue for investors with claims against their brokerage firm or financial professional. ? [read post]
26 Mar 2008, 11:41 am
According to a source, FINRA is now following the former NYSE Regulation's procedure of having firms respond to exam findings. [read post]
9 Jul 2021, 9:58 am
FINRA launched the investigation after it received information through the FINRA Securities Helpline for Seniors. [read post]
2 Jul 2024, 2:14 pm
” The claim was settled in 2023, according to FINRA. [read post]
12 Jul 2018, 10:07 am
(FINRA Case #2015045984001) Mark Kaplan (CRD #1978048, Merrick, New York) – An AWC (Accept, Waiver & Consent) was issued in which Kaplan was barred from association with any FINRA member in all capacities. [read post]
31 Jul 2012, 1:45 pm
In recent years there has been an anecdotal trend towards fighting FINRA and the SEC. [read post]
31 Aug 2017, 6:09 am
(FINRA Case #2016049485101) Stephen J. [read post]
